DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

Thomas Charles Martin

Cetera Investment Advisers LLCBD affiliatedNorth Haven, Ctdual registrantIAPD 5900181

Feed of 09/14/2026

Also filed as Tom Martin

At current firm

1 y

since Apr 7, 2025

In the industry

12 y

since Jan 29, 2014 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Cetera Investment Advisers LLC BD affiliated current
since Apr 7, 2025 · North Haven, Ct
Osaic Wealth, Inc. BD affiliated
Jan 24, 2025 to Feb 6, 2025 · Glastonbury, Ct
Osaic Fa, Inc. former
Mar 27, 2023 to Jan 24, 2025 · Glastonbury, Ct
Independent Financial Group, LLC BD affiliated
Jan 15, 2021 to Mar 24, 2023 · Hartford, Ct
Hornor, Townsend & Kent, LLC independent RIA
Nov 21, 2019 to Jan 5, 2021 · North Haven, Ct
Clear Path Financial Planning unclassified
Jan 11, 2016 to Nov 6, 2019 · Cheshire, Ct
Waddell & Reed former
Mar 6, 2014 to Nov 24, 2015 · Hamden, Ct

Moves

a registration end followed by a registration begin elsewhere

Osaic Wealth, Inc. to Cetera Investment Advisers LLC
left Feb 6, 2025, registered Apr 7, 2025 (60 days) · Affiliated broker-dealer or bank to another
Osaic Fa, Inc. to Osaic Wealth, Inc.
left Jan 24, 2025, registered Jan 24, 2025 (0 days) · corporate re-registration, not a move
Independent Financial Group, LLC to Osaic Fa, Inc.
left Mar 24, 2023, registered Mar 27, 2023 (3 days) · Affiliated broker-dealer or bank to another
Hornor, Townsend & Kent, LLC to Independent Financial Group, LLC
left Jan 5, 2021, registered Jan 15, 2021 (10 days) · Affiliated broker-dealer or bank to independent RIA
Clear Path Financial Planning to Hornor, Townsend & Kent, LLC
left Nov 6, 2019, registered Nov 21, 2019 (15 days) · Other
Waddell & Reed to Clear Path Financial Planning
left Nov 24, 2015, registered Jan 11, 2016 (48 days) · Other

Signals

Thomas Charles Martin left Osaic Wealth, Inc. for Cetera Investment Advisers Llc (registered 2025-04-07)
Feb 6, 2025 · Advisor changed firm · fact
Thomas Charles Martin left Independent Financial Group, Llc for Osaic Fa, Inc. (registered 2023-03-27)
Mar 24, 2023 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address